The cambridge history of china volume 5 part one the sung dynasty and its precursors, 907–1279

Tai Lieu Chat Luong


THE CAMBRIDGE HISTORY
OF CHINA
General Editors
Denis Twitchett and John K. Fairbank
Volume 5
Part One: The Sung Dynasty and Its Precursors, 907–1279



Work on this volume was partially supported by the National Endowment for the
Humanities, Grant RZ-20535-00, and by a grant from the Chiang Ching-Kuo
Foundation for International Scholarly Exchange (USA).


L I A O

H S I - H S I A

E M P I R E

Western Capital
Ta-t’ung

Southern Capital

Feng-chou

E M P I R E

Hsiung-chou Pa-chou
Huo-shan Tai-chou
Pao-chou
Pei-p’ing
Ch’ing-chou
Fu
Ning-hua Chung-shan
Mo-chou
Pao-te
Chi
K’o-lon
Ying-chou
Chin-ning
T’ien-wei
Ts’ang-chou
Teng-chou
Hsien-chou
Hsing-ch’ing-fu
Chen-ting-fu
Ching-chou
Shen-chou
Lan-chou
G
Hsin-chou
Yung-ching
Yin-chou
N Pin-chou
P’ing-ting
Lai-chou

T’ai-yuan-fu
U
NG
T Ti-chou
Ch’ing-yuan-fu Chi-chou
Te-chou
Y
Sui-te
Wei-chou
I
TU
Shih-chou
Chen-wu
En-chou
E
Liao-chou Hsin-te-fu
U
G
Ting-pien
Ch’ing-chou
Fen-chou
Chi-nan-fu
N
N
Hui-chou
MingU
Po-chou
H O - T U N G
Hsi-an
Tz’u-chou

chou
Ting-pien
G
Yen-an-fu Hsi-chou
Huan-chou
Wei-sheng Tz’u-chou
Mi-chou
Lo-chou
Hsi-ning
Ta-ming-fu Yün-chou
C
Ch’ing-tso
C Fu-chouHsiang-chou
Tzu-chou
H
K’ai-te-fu
C
H
I
N
G
Lan-chou
Kuo-chou H
Ch’ing-chou
Ping-yang
Chi-chou Yen-chou
Ü
Chen-jung
’
P’u-chou

Yuan-chou
Tse-chou
Chi-shih
Hua-chou
I
Fang-chou
Wei-chou Ning-chou
I-chou
T U N G
Chiang-chou
Wei-chou
Ho-chou
N
Ts’ao-chou Tan-chou
Ching-chou
Meng-chou Huai-chou K’ai-feng
Hsi-chou
Huai-yang
- Shun-te Lung-chou Pin-chou Yao-chou T’ung-chou Chieh-chou
H S I
Hai-chou
F E
Cheng-chou
Kung-chou
Kung-chou
Ho-chungC
Ying-tien-fu
Li-chou
N G
Ho-nan-fu

CHINGHsü-chou
T’ao-chou
Ch’in-chou
K’uo-chou Shan-chouH
CHI
An-tung
Hua-chou
Feng-hsiang-fu
Min-chou
I
Yang-ch’ang-fu
Ching-chao-fu
H U A I - N A N
Hsi-ho
Su-chou
Ju-chou N
Feng-chou
Ch’u-chou
Hua-ning-fu
G
Po-chou
Ch’eng-chou
Shang-chou
Ch’ing-ho
- H
Huai-an ChaoChieh-chou
hsin T U N G
Mien-chou
Yang-chou
S

Kao-yu
Hao-chou
I
Ssu-chou
T I B E TA N S
Wen-chou
P
T’ai-chou
Yang-chou
Shun-ch’ang-fu
E
C
H
Hsing-yuan
T’ung-chou
ChenI
I
Chen-chou
N
Ta-an
Ts’ai-chou
chiang-fu
G Teng-chou
Ch’u-chou
Chün-chou
Shou-ch’un-fu
L
I
C
H

O
U
T’ang-chou
Lung-chou
Chiang-ning-fu
H
Chin-chou
Li-chou
Ho-chou
Hsin-yang
Ch’angFang-chou Hsiang-yang-fu S
Kuang-chou Liu-an
Lung-ch’ing
I
chou
P’ing-chiang-fu
T’ai-p’ing-chou
N
A
Pa-chou
U Lang-chou
Mao-chou
Hsin-yang
Sui-chou
I
N
K’ai-chou
Wu-wei
A
Hu-chou

HanChia-hsing-fu
Ch’inWei-chou
Te-an-fu
P’eng-chou
Ta-chou
chou
chou
K’uei-chou
U
Ning-kuo-fu
Kuei-chou
Ying-chou
Yun-an
T’ung-ch’uan-fu
H
Yüeh-chou
P’eng-chou
H
Ming-chou
Lin-an-fu
An-ch’ing-fu
Yung-k’ang
Kuo-chou
Wan-chou
Ch’eng-tu-fu
Huang-chou
Hsia-chou
Liang-shan
EO-chou
Ya-chou Ch’iungLIANG-CHE

N
Ch’i-chou
Shih-chou
ChienCh’ü-chou
Hui-chou
Chiang-ling
P
Shou-ch’ang
Chung-chou
chou
Sui-chou
chou
Fu-chou
Chien-te-fu
Ning-hsi
P’uMei-chou
Ho-chou
C
chou
U
Hsing-kuo
Chiang-chou
T’ai-chou
Fu-chou
Chia-chou
Ch’angH Li-chou
Li-chou
Wu-chou
Nan-k’ang
chou Yü-chou

Tzu-chou
Ch’ü-chou
Yüeh-chou
Ch’ien-chou
Jao-chou
G
Lung-hsing-fu
Nan-p’ing
Ch’u-chou
Hsin-chou
Ch’ang-te-fu
Jung-chou
Lu-chou
Wen-chou
Yün-chou
Chen-chou
Chen-chou
Ch’ing-ning
T’an-chou
Lin-chiang
Fu-chou
Ssu-chou
Yuan-chou
Po-chou
Chien-ning
Ch’ien-ch’ang
Shao-wu
Yuan-chou
Heng-chou
Shao-chou

Chi-chou
Nan-chien
Ching
I
Ch’a-ling
chou
Fu-chou
Wu-kang

I

CH

S

H O
-

H

IN

G

H

-T

O

P E
I

-P

H

S

I

Lin

N

N

U

N

H

I

G

C

-

H

’

K

N

N

T A - L I

A

G

G

N

U

T

C

I -

E

U

T ’U

M

K I N
G D
O

H

A

’U

FU

- C
H

NG

F

C

U

H

’

H

IA

N

I

O

N

E

Wen

Ti
Lan

Lung
Yen

Kuan
T’ing

K

P’an

U

A

N

Hsiang
Kung

I-chou

N

A

Hsin
Kuei

Pin
Yung-chou
Heng
Ch’in-chou

G

H

S

N

A
Ch’enchou

T’eng

I

Kao-chou

Hsing-hua
Ch’uan-chou

Nan-an

Chang-chou
Mei-chou

Shao-chou

Hsün-chou

Ying-te-fu

K U A N G - N A N
Wu-chou
Feng-chou

Yung-chou
Yü-lin

F U - CH I E N

Ting-chou

Nan-hsiung

Lien-chou
Chao-chou
Chia-chou

Ch’ao-ch’ing-fu

Pai-chou
Lien-chou

-

Kan-chou

- N A N
N G
I A

S

Kuei-chou

I

U

An-hua
Na

Yung-chou

Ch’uan-chou N
Kuei-yang-chien
Tao-chou

S

A

H

V

IO

H

A

R

IB

C

P’ing-chou

Ts’ung-chou

N

M

R

C

T

-N

I

G

S

U

-T

-

N

N

A

N

G

H

E S

Ch’ao-chou

T U N G

Te-ch’ing-fu

Hui-chou

Kuang-chou

Hsin-chou
En-nan-chou

Hua-chou

H O U - T A
Lei-chou

Principal roads

Y Ü E H

Canals
Ch’iung-chou
Ch’ang-hua

Provincial capitals
Fu

Chen-chou
Yen-te

Chou

Prefectures

Chün

Military prefectures

Wan-an

Chu-yai

0
0

400 km
200 miles

Map 1. Political Map of the Northern Sung, c. 1100. Reprinted by permission from The Times atlas of China, P. J. M. Geelan and Denis C.
Twitchett, eds. (London: Times Books, 1974).



THE CAMBRIDGE
HISTORY OF
CHINA
Volume 5
Part One: The Sung Dynasty and Its
Precursors, 907–1279
edited by
DENIS TWITCHETT and PAUL JAKOV SMITH


cambridge university press
Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, S˜ao Paulo, Delhi
Cambridge University Press
32 Avenue of the Americas, New York, ny 10013-2473, usa
www.cambridge.org
Information on this title: www.cambridge.org/9780521812481

C

Cambridge University Press 2009

This publication is in copyright. Subject to statutory exception
and to the provisions of relevant collective licensing agreements,
no reproduction of any part may take place without the written
permission of Cambridge University Press.
First published 2009
Printed in the United States of America
A catalog record for this publication is available from the British Library.
Library of Congress Cataloging in Publication Data
(Revised for volume 5, part 1)
Main entry under title:
The Cambridge history of China.
Bibliography: v. 5, pt. 1, p.
Includes indexes.
1. China – History. I. Twitchett, Denis Crispin. II. Fairbank, John King, 1907–
ds735.c3145
951 .03
76–29852
isbn 978-0-521-81248-1 hardback
Cambridge University Press has no responsibility for the persistence or
accuracy of urls for external or third-party Internet Web sites referred to in
this publication and does not guarantee that any content on such Web sites is,
or will remain, accurate or appropriate. Information regarding prices, travel
timetables, and other factual information are correct at the time of first
printing, but Cambridge University Press does not guarantee
the accuracy of such information thereafter.


In memory of Denis Crispin Twitchett (1925–2006)

Mentor, friend, and inspiration



PREFACE

This volume has been long in the making, many of its authors freshly minted
Ph.D.s when recruited by Denis Twitchett in the late 1980s. Since that time
sinology in general and the field of Sung history in particular have undergone
several significant changes: pinyin has become the most widely used form of
romanization; authoritative versions of key Sung texts have been made widely
accessible online and through the electronic edition of the Ssu-ku chăuan-shu;
and a punctuated, annotated version of the writings of most Sung authors has
been issued in the 360-volume Chăuan Sung wen. But the writing of the chapters
in this volume predates those changes, which has influenced the conventions
we have followed.
With respect to romanization, we continue The Cambridge history of China
practice of rendering most Chinese terms and proper names (the names of
persons, places, official titles, bibliographic entries, and so on) in the WadeGiles system. Following the example of previously published volumes, we
use familiar (pre-pinyin ) forms for the names of modern provinces (yielding
Kiangsi rather than Chiang-hsi or Fukien rather than Fu-chien) and principal
cities (such as Peking, not Pei-ching, and Canton rather than Kuang-tung).
Otherwise, all place names are in Wade-Giles, according to the standard set
in Hope Wright, compiler, Geographical names in Sung China: An alphabetical
´
´
list (Paris: Ecole
Pratique des Haute Etudes,
1956). For both place names and
personal names, numbers are used to differentiate between homonyms, such as

ă and his subordinate General Chang Chun2,
ă
Chief Councilor Chang Chun
or
the prefectures of Ho-chou (in Sung Kuang-nan East circuit, modern Kwangsi
province) and Ho-chou2 (in Sung Hsi-ho circuit, modern Kansu province). We
have sought to ensure that all places mentioned in the text can be found on one
of the volume’s many maps, but for fuller coverage readers should consult T’an
Ch’i-hsiang, compiler, Chung-kuo li-shih ti-t’u chi, volume 6: Sung-Liao-Chin
shih-ch’i (Shanghai: Ti-t’u ch’u-pan, 1982).
Because our authors prepared these chapters prior to the widespread availability of standardized editions or online and electronic text databases and in


xii

preface

varying sinological environments, multiple versions of the same work may
be cited between chapters and occasionally within the same chapter. Variant
editions are all listed in the Bibliography. Translations of terms and official
titles are consistent across chapters, with occasional deference to contextual
differences. In all matters of translation, romanization, and geographic nomenclature, we aim for a high degree of consistency between this and the companion
Volume 5, Part 2. These two volumes, in conjunction with Volume 6 (Alien
regimes and border states, 907–1368), provide a thorough survey of the history
of China and its neighboring states from the tenth through the fourteenth
centuries.


CONTENTS

Preface

page xi

List of Tables and Figures

xvii

List of Maps

xviii

Acknowledgments
List of Abbreviations
Introduction: The Sung Dynasty and Its Precursors, 907–1279
by Paul Jakov Smith, Haverford College
Introduction
Coming Out of the T’ang: State Building in North and South
Founding and Consolidation of the Sung, 960–1000
A Cycle of State Building on the Steppe, Tenth to Thirteenth
Centuries
Sino-Steppe Relations and the Shape of Dynastic Events
1 The Five Dynasties
by Naomi Standen, University of Newcastle
Introduction
Fighting for Allegiances
Allegiance and Alliance
Moving to Consolidation
2 The Southern Kingdoms between the T’ang and the Sung,
907–979

by Hugh R. Clark, Ursinus College
Introduction
From Banditry to State Formation, 875–c. 910

xxi
xxiii
1
1
1
11
15
20
38
38
39
74
112

133
133
140


xiv

contents
Early Political Recruitment
Political Change, 920s–940s
Economic Structures
State Structures and Interstate Relationships

The Close of the Interregnum
Conclusion

3 Founding and Consolidation of the Sung Dynasty under T’ai-tsu
(960–976), T’ai-tsung (976–997), and Chen-tsung (997–1022)
by Lau Nap-Yin, Institute of History and Philology, Academia
Sinica, and Huang K’uan-chung, Institute of History and
Philology, Academia Sinica
T’ai-tsu and the Founding of the Sung, 960–976
The Weak First, Strong Later Strategy
Sino-Liao Relations and the Two Sons of Heaven
A New Type of Emperor: The Diffident Chen-tsung,
997–1022
4 The Reigns of Jen-tsung (1022–1063) and Ying-tsung
(1063–1067)
by Michael McGrath, Adrian College
Jen-tsung’s Early Reign: The Regency of Empress Liu
(1022–1033)
Jen-tsung and Luă I-chiens Ministry (10331043)
The War with Hsi Hsia (10381044)
The Ching-li Reforms (1043–1045)
The Southern Frontier Region
The Imperial Women
The Death of Jen-tsung and the Accession of Ying-tsung
Politics from Spring 1065 until the Death of Ying-tsung
in January 1067
5 Shen-tsung’s Reign and the New Policies of Wang An-shih,
1067–1085
by Paul Jakov Smith, Haverford College
Shen-tsung’s Ascension and the Crisis of the Mid-eleventh

Century
Gaining Power
The First Phase of the New Policies: Economic Reform under
Wang An-shih

158
163
171
188
197
205

206

206
220
247
260

279

279
289
300
316
328
334
335
343

347

347
363
383


contents
From Economic Redistribution to Revenue Extraction
The New Policies under Shen-tsung
The Campaign against the Tangut Hsi Hsia
Shen-tsung’s Death and the Ouster of the Reformers
6 Che-tsung’s Reign (1085–1100) and the Age of Faction
by Ari Daniel Levine, University of Georgia
Retrogression: 1085–1086
Political Gridlock: 1086–1093
Resurrection: 1093–1100
7 The Reigns of Hui-tsung (1100–1126) and Ch’in-tsung
(1126–1127) and the Fall of the Northern Sung
by Ari Daniel Levine, University of Georgia
Approaches and Departures: Historiographic Issues
Court Politics during the Ch’in-sheng Regency
Court Politics and State Policy during Hui-tsung’s Reign
Court Culture and State Religion during Hui-tsung’s Reign
Popular Uprisings, Border Conflicts, and the Fall of the
Northern Sung
8 The Move to the South and the Reign of Kao-tsung
(1127–1162)
by Tao Jing-shen, University of Arizona
The Establishment of Kao-tsung’s Rule

Banditry, the Suppression of Local Disorder, and the Power
of the Generals
Government Reorganization
War and Diplomacy, 1131–1141
The Peace Process, 1138–1142
Ch’in Kuei’s Dominance, 1141–1155
Stabilizing Civilian Government
The Economy and Financial Policies
The End of the Ch’in Kuei Era
Abdication
9 The Reign of Hsiao-tsung (1162–1189)
by Gong Wei Ai, University of Malaya
Introduction

xv
414
447
464
478
484
484
509
531

556
556
559
571
602
614

644
644
662
666
672
677
689
694
697
703
707
710
710


xvi

contents
The Peace Settlement of 1164–1165
The Ch’ien-tao Period (1165–1173): Years of Reconstruction
The Ch’un-hsi Period (1174–1189): The Growth of
Absolutism
Foreign Relations after 1174

10 The Reigns of Kuang-tsung (1189–1194) and Ning-tsung
(1194–1224)
by Richard L. Davis, Lingnan University
The Reign of Kuang-tsung (1189–1194)
Bureaucratic Leadership

Royalty at Odds
Autocracy under Ning-tsung (11941224)
Han To-chou against the Bureaucracy
The Ban on Tao-hsăueh
Rapprochement and the Kai-hsi War (12051207)
Insurrection in Szechwan
The Coup in Lin-an
ă in Power
Shih Mi-yuan
Loyalists of Shantung
Sung-Chin Conflict
Domestic Concerns
An Uncertain Succession
11 The Reign of Li-tsung (12241264)
by Richard L. Davis, Lingnan University
ă in Isolation
Shih Mi-yuan
Foreign Policy
Bureaucratic Leadership and the Forces of Opinion
The Rise of Chia Ssu-tao
12 The Reign of Tu-tsung (1264–1274) and His Successors to 1279
by Richard L. Davis, Lingnan University
Dynasty Besieged
A Dynasty in Retreat
The Fugitive Court
Bibliography
Glossary–Index

713
720

737
738

756
758
762
766
773
775
783
789
795
805
812
823
827
830
833
839
839
852
872
890
913
913
929
946
963
1011

TABLES AND FIGURES

tables
1.
2.
3.
4.
5.
6.
7.

Sung Weights and Measures
page xxiv
Sung Emperors and their Reign Periods
xxx
Chronology of the Five Dynasties and Ten Kingdoms
6
Chronology of the New Policies during Shen-tsung’s Reign
385
Percentage of the Population in Active pao-chia Service, 1076
415
Households and Population of Hang-chou (Lin-an)
702
Population Growth for Four Cities from Northern
to Southern Sung
702
figures

1.

2.
3.
4.
5.

Genealogy of the Later Liang ruling house
Genealogy of the Later T’ang and Chin ruling houses
Genealogy of the Later Han and Later Chou ruling houses
Rulers of the Southern Kingdoms
Outline genealogy of the Sung imperial family

xxv
xxvi
xxvii
xxviii
xxix


MAPS

1.
2.
3.
4.
5.
6.
7.
8.
9.
10.

11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
22.
23.
24.
25.
26.

Political map of the Northern Sung, c. 1100
The Five Dynasties and the Ten Kingdoms, 907–960
The Sung domain and its neighbors, c. 1100–1291
North China, c. 895–905, showing Chu Wen’s expansion
out of Honan
ă conquest
North China, c. 911916, showing Li Tsun-hsus
of Hopei
North China under the Later T’ang, c. 926
China under the Later Chin, c. 938
The Sixteen Prefectures ceded to the Khitan in 937
Territorial expansion under the Later Chou, c. 959
Huang Ch’ao’s movements, 878–880

Consolidation of the Sung, 960–979
Liao invasion of the Sung, 1004
The first Sino-Tangut war, 1038–1044
Nung Chih-kao’s uprising, 1049–1053
Annexation of Tibetan territories under Shen-tsung and his
sons, 1072–1109
The Sino-Tangut war of 1081–1082
Revived campaign against the Tanguts, 1097–1099
Hui-tsung’s wars in the northwest, 1103–1117
Uprisings of Fang La and Sung Chiang, 1119–1121
Sino-Jurchen contest for Liao and the Sixteen Prefectures,
1117–1124
The Chin invasions of Northern Sung
Chin raids south of the Yangtze, 11291130
The embattled Southern Sung, c. 1130
ă Feis incursions into Chin territory, 1140
Yueh
Southern Sung borders as of 1142
Chin invasion of the Southern Sung, 1161–1162

page iv
2
18
46
63
68
86
88
119
139

225
265
304
330
467
474
550
618
623
631
635
656
668
683
685
705


maps
27.
28.
29.
30.
31.
32.

The K’ai-hsi war of 1206
Border situation as of Li-tsung’s succession, c. 1224
Abortive Sung intervention in Honan, 1234
Măongkes invasion of Szechwan, 1258–1259

Centers of defensive activity, c. 1258–1273
The conquest of the Southern Sung

xix
795
846
857
871
919
943



ACKNOWLEDGMENTS

Of the many debts that have been incurred in the evolution of this volume
thanks must first be paid to our contributors. They labored long and hard
to produce what were, in many cases, the first English-language narratives of
their assigned periods, and it is through no fault of theirs that it has taken
so long to get their efforts into print. They, and their department chairs and
personnel committees, have shown exceptional forbearance.
Everyone associated with this volume is indebted to the late Denis C.
Twitchett, the visionary scholar, mentor, and friend who brought us all together
and whose guiding hand has shaped The Cambridge history of China. As Denis’s
coeditor from 2001 to his death in 2006, I was a privileged beneficiary of his
profound scholarship and the boundless warmth and generosity of his spirit.
Although this would be a stronger work had Denis still been here to give it
one final inspection, we hope he would be pleased that it is finally out, and
dedicate it to him as a token of our deep esteem.
Many others have helped to bring Volume 5, Part 1, to completion. In working through the various chapters it was always a delight to come across comments and suggestions by the late James T. C. Liu (1919–93), the preeminent

Sung historian, who like Denis was friend and mentor to many of us involved in
this project. Ralph Meyer, long-time project manager for The Cambridge history
of China, brought preliminary order to the chapters and to the union glossary
and bibliography until his retirement in 2002, when he was ably succeeded
by Michael Reeve. John Chaffee and Willard Peterson, editors respectively of
Volume 5, Part 2, and Volume 9, Parts 1 and 2, took time from their own
volumes to offer valuable advice and assistance on this one. Many of the maps
in this volume were initially drafted using Geographic Information System
datasets created by the late Robert M. Hartwell (1932–96) and made available
to the scholarly community by the China Historical GIS Project at Harvard
University; I am grateful to Peter K. Bol and Merrick Lex Berman of Harvard
and to the Academic Computing Center of Haverford College for their help
with this invaluable resource.


xxii

acknowledgments

The East Asian Studies Program at Princeton University, directed during
the relevant years by Martin C. Collcutt and Benjamin A. Elman, has generously supported The Cambridge history of China project in numerous direct
and indirect ways. The Project has been privileged to receive financial support from the National Endowment for the Humanities and from the Chiang
Ching-Kuo Foundation for International Scholarly Exchange. We are grateful
to these institutions for their financial support and the scholarly recognition
it implies.
Paul Jakov Smith
2007


ABBREVIATIONS

CPPM
CWTS
CYYL
HCP
HTC
SHY
SS
TCTC

Tzu-chih tung-chien chang-pien chi-shih pen-mo
Chiu Wu-tai shih
Chien-yen i-lai hsi-nien yao-lu
Hsău tzu-chih tung-chien chang-pien
Hsău tzu-chih tung-chien
Sung hui-yao
Sung shih
Tzu-chih tung-chien


Table 1. Sung Weights and Measures
Length
1 li

= 1/3 of a mile

Weight
1 liang
= approx. 1.3 ounces
1 chin (catty) = 16 liang, approx. 1.3 pounds

Volume
1 sheng
1 tou
1 shih (tan)

= approx. .86 quart
= 10 sheng, approx. 2 gallons
= 100 sheng, approx. 2.7 bushels, or 21.5 gallons

Area
1 mou (mu)
1 ch’ing

= approx. 1/7 of an acre
= 100 mou, approx. 14 acres

Currency
1 min (kuan) = a unit of account nominally worth 1,000 cash


Later Liang dynasty, 907– 923

sister

Yüan
Hsiang-hsien

brothers

Yu-yü

d. 912

Yu-wen*

Chu Wen
Liang T'ai-tsu, 907–12

Yu-kui
emperor,
912–13

Yu-chen
Mo-ti,
913–23

Lo Shao-wei Wang Jung

Yu-chang

Yu-ch'ien* d. = s. d. = s.

*adopted

Figure 1. Genealogy of the Later Liang ruling house.